transcript   Transcript

Investment Management: Compliance and Inspections

Recorded on: May. 2, 2018
Running Time: 01:05:33

Full Transcript:



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Taken from the Web Program Investment Management Institute 2018 Recorded April, 2018 in New York [01:05:33]
  • Addressing key adviser and fund compliance issues
  • OC Exam priorities
  • Interacting with SEC staff
  • Increasing responsibilities of Compliance Officers

Paul F. Roye (Panel Leader); Maria Gattuso, Daniel S. Kahl, Philip L. Kirstein

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:

  • Compliance and Inspections (Substantive Outline)
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  • Peter B. Driscoll, Acting Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission, Speech, GIPS Standards Annual Conference: Improving Investment Adviser Compliance (September 14, 2017)
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  • U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program—Examination Priorities for 2017
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  • U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program: Risk Alert Volume VII, Issue 1—Observations from Municipal Advisor Examinations (November 7, 2017)
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  • U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program: Risk Alert Volume VI, Issue 6—The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations of Investment Advisers (September 14, 2017)
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  • U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program: Risk Alert Volume VI, Issue 5—Observations from Cybersecurity Examinations (August 7, 2017)
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  • U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program: Risk Alert Volume VI, Issue 4—Cybersecurity: Ransomware Alert (May 17, 2017)
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  • U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program: Risk Alert Volume VI, Issue 3—The Five Most Frequent Compliance Topics Identified in OCIE Examinations of Investment Advisers (February 7, 2017)
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(s)
Maria Gattuso ~ Deloitte & Touche LLP
Daniel S. Kahl ~ Chief Counsel and Associate Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Philip L. Kirstein ~ Senior Officer & Independent Compliance Officer, AllianceBernstein Mutual Funds (Former)
Paul F. Roye ~ Director, Capital Research and Management Company
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